Best Investors Account Sign in

Sean Patrick Kelley

Ubs Financial Services Inc.

Westport, CT

Westport, CT

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2002-09-23
CT RA APPROVED 1997-07-01
  • TX RA
    APPROVED_RES
    Since 2002-09-23
  • CT RA
    APPROVED
    Since 1997-07-01

Branch Locations

8 Wright Street, Westport, CT 06880-4701 • United States

300 Post Road West, Westport, CT 06880 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Westport CT 03/1997 Present
Other Businesses

BRIAN THOMAS KELLEY JR IRREVOCABLE - TRUSTEE OF LIFE INSURANCE TRUST - TRUSTEE - ONE HOUR PER MONTH -

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-17
S63 Uniform Securities Agent State Law Examination 1987-10-08
  • S65 Uniform Investment Adviser Law Examination
    1997-06-17
  • S63 Uniform Securities Agent State Law Examination
    1987-10-08

View on SEC IAPD

Other Firms

QUORUS INC.
DIVYDE CAPITAL PARTNERS L.P.
MORGAN STANLEY
EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC
SENECA WEALTH ADVISORS, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

JOHN WILLIAM HILL
KYLE JOSEPH BIRMINGHAM
Prashant A Joshi
ALEXANDRA EMMA LYON
STEPHANIE MARIE FRANCHINI
Karl Christian Mergenthaler
MARK C BURTON
MATTHEW STEPHEN LANDRY

Other Offices

QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
MORGAN STANLEY · Westport, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT

More in Westport, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor